B2B: UDAAP Explained

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CE Credits: 1.25 CRCM


Join us as we bring you back to the basics of UDAAP. During this webinar, we will unwrap the UDAAP acronym by defining the key terms and elements, and then discuss interagency guidance, emerging risks, and recent enforcement actions. UDAAP violations present substantial risks to financial institutions, including enforcement actions, FIRREA penalties, and reputational harm. This webinar is intended for a broad audience due to the breadth and depth of the UDAAP rules, and we invite all bank personnel to attend.

Key takeaways include:

  • Elements of Unfair, Deceptive, and Abusive Acts and Practices
  • Key Points and Examples from the Interagency Guidance
  • Emerging UDAAP Risks of Technology, Privacy, and Security
  • Lessons Learned from Recent Enforcement Actions

People who should attend:

Compliance Officers and compliance personnel, BSA Officers and BSA personnel, Internal Audit Staff, and Branch Staff, and Marketing personnel.

Presenter:  Carol Ann Warren, JD,  Associate General Counsel

Carol Ann Warren serves as Associate General Counsel for Compliance Alliance. She graduated cum laude from Mississippi College with a Bachelor of Finance. She earned a Juris Doctorate and a Master of Business Administration through a joint degree program at Mississippi College School of Law and Mississippi College. During law school, she received Best Paper Awards for Securities Regulation and Electronically Stored Information. She is one of our featured authors on the B/A ACCESS magazine and for other publications.
After graduation, Carol Ann worked as an attorney for the Mississippi Insurance Department, where she began her passion for helping others navigate through the regulatory environment. She has a diverse educational and experiential background in business management, business law, securities, and insurance. Carol Ann is a licensed attorney in Mississippi, Tennessee, and Texas.

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